Update search
Filter
- All
- Title
- Author
- Author Affiliations
- Full Text
- Abstract
- Keyword
- DOI
- ISBN
- EISBN
- ISSN
- EISSN
- Issue
- Volume
- References
Filter
- All
- Title
- Author
- Author Affiliations
- Full Text
- Abstract
- Keyword
- DOI
- ISBN
- EISBN
- ISSN
- EISSN
- Issue
- Volume
- References
Filter
- All
- Title
- Author
- Author Affiliations
- Full Text
- Abstract
- Keyword
- DOI
- ISBN
- EISBN
- ISSN
- EISSN
- Issue
- Volume
- References
Filter
- All
- Title
- Author
- Author Affiliations
- Full Text
- Abstract
- Keyword
- DOI
- ISBN
- EISBN
- ISSN
- EISSN
- Issue
- Volume
- References
Filter
- All
- Title
- Author
- Author Affiliations
- Full Text
- Abstract
- Keyword
- DOI
- ISBN
- EISBN
- ISSN
- EISSN
- Issue
- Volume
- References
Filter
- All
- Title
- Author
- Author Affiliations
- Full Text
- Abstract
- Keyword
- DOI
- ISBN
- EISBN
- ISSN
- EISSN
- Issue
- Volume
- References
NARROW
Format
Journal
Type
Date
Availability
1-2 of 2
Keywords: Department of Justice
Close
Follow your search
Access your saved searches in your account
Would you like to receive an alert when new items match your search?
Sort by
Journal Articles
Operational regulatory risks facing private equity firms
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2013) 14 (3): 11–15.
Published: 09 September 2013
...) , and Jacobius (2006) . United States of America Department of Justice Private equity Securities and Exchange Commission If you work in the private equity world, you probably know that you are already exposed to a variety of regulatory risks and obligations that can have a significant impact...
Journal Articles
FCPA broker-dealer case highlights compliance risks for financial institutions
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2013) 14 (3): 34–37.
Published: 09 September 2013
..., and recommends measures for financial services firms to limit FCPA risks. Findings – The early May FCPA enforcement action makes clear that the financial services industry is very much on the radar screen of the US Securities and Exchange Commission and Department of Justice. Practical implications...
